David Chase, Esq. is a nationally recognized SEC defense attorney who for over the last 25 years has successfully represented individuals and companies under SEC […]
Representation of Defrauded Securities Investors The Firm represents customers of securities brokerage firms, investment advisory firms and hedge funds who have been defrauded or whose […]
Registered representatives are often promised lucrative careers, fabulous platforms, significant resources, large travel budgets and access to many financial products, coupled with significant upfront monies, […]
The Firm, headed by SEC attorney David R. Chase, represents stockbrokers, financial advisors and registered representatives in securities licensing and registration issues with state securities […]
FINRA Investigations: The Process Explained If you are under investigation by the Financial Industry Regulatory Authority, it is critical that you understand the process by […]
The Firm represents individuals on a contingency fee basis who seek to file whistleblower claims with the SEC and CFTC. The SEC and CFTC Whistleblower Programs provide monetary […]
If you are under investigation for insider trading, offering frauds, Ponzi Schemes, or stock manipulations, by the Securities and Exchange Commission, it is critical that you […]
Under SEC Investigation for Insider Trading? What You Need to Know The SEC takes insider trading extremely seriously and has historically made it a key […]
Stock Manipulation and Pump and Dump Schemes The Securities and Exchange Commission has historically devoted substantial enforcement resources to investigating and prosecuting stock manipulations, commonly […]
